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Violation Tracker Current Parent Headquarters Summary Page

HQ State/Territory: Minnesota
Current Parent Penalty Total since 2000: $25,790,302,028
Number of Records: 2,066
Note: The totals here are derived only from entries matched to parent companies. They are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
3M Company$19,694,417,115135
UnitedHealth Group$2,245,949,382388
U.S. Bancorp$1,681,335,61466
Mosaic Co.$898,981,519106
Ameriprise Financial$340,010,88558
Cargill$220,708,468219
Target$187,253,759158
Ecolab$122,430,09084
Patterson$81,538,4329
Piper Sandler$53,424,45426

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentCurrent Parent Industry sort iconPrimary Offense TypeYearAgencyPenalty Amount
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2010MSHA$52,500
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2014MSHA$7,935
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2013MSHA$6,567
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2013MSHA$6,567
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2013MSHA$6,567
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2007MSHA$10,437
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2011MSHA$7,115
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2011MSHA$8,893
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2011MSHA$6,670
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2011MSHA$28,000
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2012MSHA$8,209
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2012MSHA$10,000
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2007MSHA$10,437
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2007MSHA$7,828
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2012MSHA$5,503
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2010MSHA$6,458
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2011MSHA$8,893
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2010MSHA$5,503
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2014MSHA$12,248
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2012MSHA$8,209
Ames Construction IncAmes Constructionconstruction and engineeringworkplace safety or health violation2008MSHA$13,268
U.S. BankU.S. Bancorpfinancial servicesconsumer protection violation2014CFPB$53,000,000
U.S. BankU.S. Bancorpfinancial servicesbanking violation2013CFPB$3,200,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2016OCC$10,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2014OCC$51,900,000
U.S. BankU.S. Bancorpfinancial servicesbanking violation2013OCC$208,156,501
U.S. BankU.S. Bancorpfinancial servicesFalse Claims Act and related2014DOJ_CIVIL$200,000,000
BMO Capital Markets GKST Inc.Piper Sandlerfinancial servicesinvestor protection violation2015SEC$250,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2015SEC$500,000
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014SEC$67,800
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2015CFTC$18,000,000
Union Bank of California, N.A.U.S. Bancorpfinancial servicesanti-money-laundering deficiencies2007DOJ_CRIMINAL$21,600,000
Union Bank of CaliforniaU.S. Bancorpfinancial serviceseconomic sanction violation2005OFAC$5,500
Union Bank of CAU.S. Bancorpfinancial serviceseconomic sanction violation2003OFAC$14,913
Union Bank of CAU.S. Bancorpfinancial serviceseconomic sanction violation2003OFAC$12,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2006OCC$125,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009SEC$17,300,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006SEC$125,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$30,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005SEC$140,000,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004SEC$3,706,693
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003SEC$32,500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesdata submission deficiencies2002SEC$1,650,000
Union Bank of California, N.A.U.S. Bancorpfinancial servicesanti-money-laundering deficiencies2007FINCEN$10,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesdiscriminatory practices (non-employment)2014HUD$11,489
U.S. Bank National AssociationU.S. Bancorpfinancial servicesdiscriminatory practices (non-employment)2013HUD$12,000
U.S. Bank, National AssociationU.S. Bancorpfinancial servicesmortgage abuses2011HUD$1,200,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesemployment discrimination2016OFCCP$128,200
U.S. BankU.S. Bancorpfinancial serviceswage and hour violation2008WHD$140,787
U.S. BancorpU.S. Bancorpfinancial serviceswage and hour violation2006WHD$140,788
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$15,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesbanking violation2017OCC$183,920
U.S. BancorpU.S. Bancorpfinancial servicesmortgage abuses2018FED$4,400,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017SEC$8,750,000
Columbia Management Investment Services Corp.Ameriprise Financialfinancial servicesinvestor protection violation2017SEC$250,000
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015SEC$60,000
US BancorpU.S. Bancorpfinancial servicesbanking violation2018FED$15,000,000
U.S. BancorpU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018USAO$453,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018OCC$75,000,000
Ameriprise Financial ServicesAmeriprise Financialfinancial servicesinvestor protection violation2018SEC$230,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesanti-money-laundering deficiencies2018FINCEN$70,000,000
US BANKU.S. Bancorpfinancial serviceswage and hour violation2014IL-DOL$131,922
U.S. BancorpU.S. Bancorpfinancial serviceswage and hour violation2017private lawsuit-federal$7,000,000
U.S. BancorpU.S. Bancorpfinancial serviceswage and hour violation2017private lawsuit-federal$1,150,000
U.S. BankU.S. Bancorpfinancial serviceswage and hour violation2015private lawsuit-federal$3,031,075
U.S. BancorpU.S. Bancorpfinancial serviceswage and hour violation2014private lawsuit-federal$6,450,000
Union BankU.S. Bancorpfinancial serviceswage and hour violation2012private lawsuit-federal$3,500,000
Ameriprise FinancialAmeriprise Financialfinancial serviceswage and hour violation2011private lawsuit-federal$185,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013SEC$300,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018SEC$4,500,000
American Express Financial AdvisorsAmeriprise Financialfinancial servicesemployment discrimination2002private lawsuit-federal$31,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005SEC$500,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002SEC$100,000
U.S. Bank Pension PlanU.S. Bancorpfinancial servicesbenefit plan administrator violation2012private lawsuit-federal$9,600,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesbenefit plan administrator violation2015private lawsuit-federal$27,500,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018SEC$1,400,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005NJ-AG$5,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesconsumer protection violation2009MA-AG$200,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018NJ-AG$375,000
Ameriprise GroupAmeriprise Financialfinancial servicesinsurance violation2017MULTI-AG$1,500,000
MUFG Union Bank, National AssociationU.S. Bancorpfinancial servicesbanking violation2019OCC$109,667
U.S. BancorpU.S. Bancorpfinancial servicesconsumer protection violation2005CA-AG$2,600,000
US BankU.S. Bancorpfinancial servicesprivacy violation2000MULTI-AG$2,000,000
US Bank NAU.S. Bancorpfinancial servicesconsumer protection violation2003NY-AG$33,500
US BankU.S. Bancorpfinancial serviceshousing code violation2016CA-LACA$13,500,000
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020SEC$15,992,441
Securian Financial Services, Inc.Securian Financialfinancial servicesinvestor protection violation2020AK-DBS$10,000
American Express Financial AdvisorsAmeriprise Financialfinancial servicesinvestor protection violation2000AZ-CC$125,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005AZ-CC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2006AZ-CC$1,250,000
RiverSource Life Insurance Co.Ameriprise Financialfinancial servicesinsurance violation2015CA-INS$800,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018CA-DFPI$115,000
RiverSource Life Insurance Co.Ameriprise Financialfinancial servicesinsurance violation2018DE-INS$75,000
RiverSource Life Insurance Co.Ameriprise Financialfinancial servicesinsurance violation2011FL-OFR$10,500
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2008IL-SEC$1,449,384
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009KY-FIN$983,984
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013MA-SEC$400,000
Investment Professionals, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017MA-SEC$100,000
Thrivent Financial For LutheransThrivent Financialfinancial servicesinsurance violation2012MD-INS$8,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013MD-SEC$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.